SourcingSourcing

B. RILEY WEALTH ADVISORS, INC.

C42
CRD 115927·SEC 801-64837·MEMPHIS, TN
AUM
$4.21B
$1B+
Est. Revenue
$42.1M
@ 1% on AUM
Est. EBITDA
$12.6M
@ 30% margin
Est. Deal Value
$101.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
B. RILEY WEALTH ADVISORS, INC.
CRD
115927
SEC file #
801-64837
EIN
911648671
DBA names
—

Economics

AUM
$4.21B
AUM band
$1B+
AUM trajectory
'20'26
$2.57B → $4.21B▲ +64%
Client mix
Individuals Other9,295
Individuals High Net Worth801
Pension Profit Sharing Plans267
Corporations194
Charitable Organizations16

Operations

Employees (total)
268
Advisory staff (per ADV)
172
Advisory staff (5-yr trend)
'20'26
233 advisors → 172 advisors▼ -26%
Primary office
MEMPHIS TN
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
brileywealth.com

Compliance

Disclosures (firm)
9
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
B. RILEY WEALTH MANAGEMENT
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
6
Control Persons
B. RILEY WEALTH MANAGEMENT
MULLEN, MICHAEL, ANTHONY
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
BRILEYWEALTH.COM
Rdap Domain Creation Date
2015-01-15T20:25:53Z
Rdap Firm Age Years
11
Rdap Firm Age Band
10-20y
Rdap Registrar
Wild West Domains, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
16
Form 5500 Total Compensation
805,563
Form 5500 Compensation Trajectory 3y
2025805,563
Form 5500 Plan Count Trajectory 3y
202516
Schedule C Total Compensation
805,563
Schedule C Service Provider Rows
16

SEC EDGAR

Edgar Cik
0001464811
Edgar Registered
Yes
Edgar Filing Count
75
Edgar First Filing Date
2009-12-15
Edgar Last Filing Date
2026-04-27
Edgar 13f Count
75
Edgar 13f Latest AUM Estimate
Filing Date2026-04-27
Accession0001464811-26-000006
Edgar Former Names
National Asset Management, Inc.

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
50
Bc Firm Active IA Count
50
Bc Firm IAR Count
50
Custodian Candidates
Full
Fidelity6
Wells Fargo4
E*trade4
Edgar Addresses
Mailing
40 S. MAIN ST.SUITE 1600MEMPHIS, TN 38103
Business
40 S. MAIN ST.SUITE 1600MEMPHIS, TN 38103
Edgar EIN
911648671
Edgar Recent Filings
13F-HR2026-04-27 · 0001464811-26-000006
13F-HR2026-02-17 · 0001464811-26-000005
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-01-15T20:25:53Z
Rdap Domain Last Changed
2025-08-31T15:05:26Z
Rdap Nameservers
Jo.ns.cloudflare.comRory.ns.cloudflare.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Trust Company Affiliate
No

People (54)

54
ZANONE, PHILIP, RICHARD
IAR · Executive Officer · 2.5%
2135221
MULLEN, MICHAEL, ANTHONY
Executive Officer · 2.5%
1428116
Daniel Ortega
Executive Officer · 2.5%
3095215
SWAIN, MARY, ANN
Executive Officer · 2.5%
2857597
AGOSTON STEPHEN HORVATH
Executive Officer · 2.5%
4197884
VINCENT JOSEPH D'ALBORA
IAR
4822725
ROBERT IRVING RAFFORD
IAR
370075
JAMES STEVE SIMOS
IAR
4530868
SHELDON DEVONE BLACK
IAR
5506550
SUSAN LEMIEUX
IAR
4021364
ALEXANDER PETER FREDERICK
IAR
5870494
ANDREW PARISI
IAR
5075171
LOUIS DANIEL FRY
IAR
1779864
TREVOR LEE LATULAS
IAR
5888887
LUIS JOSE SEPULVEDA
IAR
2255447
MARY ELLEN VINCENT
IAR
6311426
JOSEPH ALBERT PRICE
IAR
1103380
LOGAN THOMAS VOELKER
IAR
6420739
ATHOL JOE BIAS
IAR
2858376
GUY BLANN BRITTON
IAR
4651830
SANDRA DEE MAYS
IAR
1570469
DOMENICK ROBERT TIBALDO
IAR
2188635
Kyle Mikel Kullander
IAR
7421536
Zachary Eisner
IAR
6964643
SAMUEL KILLIAN ZWEIG
IAR
4868150
IRENE THERESA MONCK
IAR
5412961
Gerardo Flores
IAR
7468341
DEVORAH R FINKELSTEIN
IAR
4930960
CHRISTOPHER MICHAEL STONE
IAR
3080500
PETER JEREMY SARNER
IAR
2561791
RUTH JOAN HAUCK
IAR
1538774
DAVID SETH GURIEVSKY
IAR
2121790
MICHAEL CHRISTOPHER WING
IAR
2881584
JAMES BAROUTAS
IAR
1252613
MICHAEL JOSEPH ALLAN
IAR
1257882
DAVID WILLIAM FREDERICK
IAR
1075196
ROBERT THEODORE RUNNFELDT
IAR
1949914
YITZCHOK ASHER GOODMAN
IAR
1052215
DAPHNE STUART CAPERTON
IAR
1761355
SPENCER HOWARD LARSON
IAR
816737
JON AARON CULLEN
IAR
6375448
KEVIN MICHAEL GAYLE
IAR
4370504
JOHN CHRISTOPHER ZOCCOLA
IAR
4169889
ANN WILHELMINA KUPPE
IAR
2482176
JOSHUA ROBERT BARG
IAR
2638740
DOLORES KONG
IAR
4470059
LYNETTE A LISIEWSKI
IAR
1308308
DALE EDWARD GROCE
IAR
2869325
WILLIAM DONALD DUNSTAN
IAR
1575567
KENNETH JOSEPH GILMORE
IAR
1047301
SHAWN M DEVILLIER
IAR
1730798
DRAGI PAUNOVSKI
IAR
4464461
MARC LOWLICHT
IAR
1848642
KENNETH GARY COPANS
IAR
4337527